Hugh Lau, who managed $750 million at D.A. Davidson, has created Lau Financial Group in Lincoln, Nebraska, and affiliated with LPL Financial, using the firm’s service offering for breakaway brokers, LPL Strategic Wealth Services.
Lau has 21 years of experience, according to his BrokerCheck report, and had been affiliated with D.A. Davidson since 2009.
Lau was joined in the move by JoAnn Kreitman, his branch operations manager.
Despite a lighter regulatory outlook and staffing disruptions at the SEC, one compliance expert says RIA firms shouldn't expect a "free pass."
FINRA has been focused on firms and their use of social media for several years.
RayJay's latest additions bolster its independent advisor channel's presence across Pennsylvania, Florida, and Washington.
The deal ending more than 30 years of ownership by the Swiss bank includes six investment strategies representing more than $11 billion in AUM.
Divorce, widowhood, and retirement are events when financial advisors may provide stability and guidance.
How intelliflo aims to solve advisors' top tech headaches—without sacrificing the personal touch clients crave
From direct lending to asset-based finance to commercial real estate debt.
